Senior Client Service Associate - Registered

Under general supervision, the Senior Client Service Associate enhances the client experience and maintains a high level of client service and branch support. This role is responsible for daily branch operations while identifying and anticipating client, Financial Advisor and branch office needs. The Senior Client Service Associate is responsible for understanding the firm policies and procedures and has the ability to research and resolve problems using the firm’s available resources.

• Maintain existing client relationships through the processing of client requests, resolving client inquiries while ensuring all client information and documentation is up to date.
• Act as a liaison between the branch and service departments; accepting and entering orders from clients and Financial Advisor in states in which they are registered.
• Provide quotes and other account-related information to assist clients.
• Open and maintain client accounts, trade related records and all required file documentation for the branch office.
• Prepare and process trade corrections, maintain necessary records for compliance reviewing documents for accuracy and completeness.
• Support the team’s marketing strategy by maintaining marketing materials and planning client events and seminars.
• Prepare financial reports, spreadsheets, and other materials for client meetings
• Assist with all branch audit related projects.
• Proactively participate in available training and education programs to maintain current status on policies, procedures and risk awareness.
• Perform administrative functions, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings, prepare travel & expense reports, and file & calendar maintenance.
• Under the direction of the Financial Advisor, solicitation of transactions to clients on behalf of the Financial Advisor. The RSCSA must meet state licensing requirements for the state of the client in order to transact business.

• General understanding of the investment brokerage industry and securities regulations with basic knowledge of investment products.
• The ability to communicate information and ideas in spoken or written form with excellent grammar and phone/office etiquette.
• Ability to organize, prioritize and manage multiple tasks, responsibilities and deadlines; is able to follow through and accomplish goals, manage expectations appropriately and use firm’s resources efficiently.

• High school diploma or equivalent experience
• 7+ consecutive years’ experience in the Financial Services field

• 7+ consecutive years’ licensed - Series 7 and 66 (or 63 and 65)

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook

Stifel is more than 130 years old and still thinking like a start-up.  We are a global wealth management and investment banking firm serious about innovation and fresh ideas.  Built on a simple premise of safeguarding our clients’ money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations.  Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more.  Let’s talk about how you can find your place here at Stifel, where success meets success.

At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer.